Henson Aslam Financial Management LLP

Date authorised
1 April 2013
Companies House
OC310023
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    St. Clements House
    61 Trent Boulevard
    West Bridgford
    Nottingham
    Nottinghamshire
    NG2 5BE
    UNITED KINGDOM
    Phone
    +4401159818444
    Web
    https://www.hensonaslam.co.uk

  • Complaints Contact

    St. Clements House
    61 Trent Boulevard
    West Bridgford
    Nottingham
    Nottinghamshire
    NG2 5BE
    UNITED KINGDOM
    Phone
    +4401159818444

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  • Investment Advice (no pensions)

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Clive Marshall

    IRN CXM01722

    • CF1 Director (AR) (16 Jan 2006 to 1 Oct 2010)
  • Derek Clive O'Connell

    IRN DCO00002

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (14 Nov 2018 to 8 Dec 2019)
  • Nicholas Francis Aslam

    IRN NFA00002

    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • CF4 Partner (3 Jan 2006 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (3 Jan 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
  • Robert Harry Hulls

    IRN RHH00006

    • CF30 Customer (1 Apr 2012 to 26 Sep 2017)
  • Valerie Elliott-Haig

    IRN VXE00003

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (3 Jan 2006 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.